Personnel SFC Licences and HKMA Registrations (ID 92700)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
PRUDENTIAL BROKERAGE LIMITED	RO	Advising on corporate finance	2003-04-01	-
	RO	Advising on securities	2003-04-01	-
	RO	Asset management	2003-04-01	-
	RO	Dealing in securities	2003-04-01	-
	RO	Providing automated trading services	2003-04-01	2008-04-21
PRUDENTIAL INDEX TRADING COMPANY LIMITED	RO	Advising on futures contracts	2003-04-01	-
	RO	Asset management	2003-04-01	-
	RO	Dealing in futures contracts	2003-04-01	-
TIAN YUAN FINANCE LIMITED	RO	Advising on securities	2003-04-01	2016-06-30
	RO	Dealing in securities	2003-04-01	2016-06-30
	RO	Asset management	2003-04-01	2016-08-15
	RO	Advising on corporate finance	2003-04-01	2016-10-27

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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